SODERBERG & PARTNERS FINANCIAL PLANNING LIMITED

Date authorised
11 May 2015
Companies House
09442026
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    One Temple Quay
    Temple Back East
    Bristol
    BS1 6DZ
    UNITED KINGDOM
    Phone
    +4401174635100
    Web
    https://www.soderbergpartners-fp.co.uk

  • Complaints Contact

    One Temple Quay
    Temple Back East
    Bristol
    BS1 6DZ
    UNITED KINGDOM
    Phone
    +4401174635100

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Paul Joseph German

    IRN PJG01207

    • [FCA CF] Manager of certification employee (since 1 Apr 2026)
  • Robert Charles Sharpley

    IRN RCS00002

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Aug 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Aug 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 22 Aug 2023)
    • SMF3 Executive Director (9 Dec 2019 to 21 Aug 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 21 Aug 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 21 Aug 2023)
    • Responsible for Insurance Mediation (11 May 2015 to 30 Sep 2018)
    • CF30 Customer (11 May 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 May 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 May 2015 to 8 Dec 2019)
    • CF1 Director (11 May 2015 to 8 Dec 2019)
  • Robert James Jackson

    IRN RJJ01066

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Appointed representative dealing with clients for which they require qualification (since 15 Apr 2026)
    • CF4 Partner (AR) (since 6 Apr 2026)
    • CF30 Customer (since 6 Apr 2026)
  • Sheriden Lee Davy

    IRN SLD01028

    • SMF16 Compliance Oversight (since 19 Dec 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Dec 2025)
  • Thomas Leopold

    IRN TXL01194

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 15 Apr 2026)
    • CF30 Customer (since 25 Mar 2026)
  • Thomas Marshall

    IRN TXM00242

    • [FCA CF] Functions requiring qualifications (22 Aug 2023 to 30 Oct 2024)
    • [FCA CF] Client dealing (22 Aug 2023 to 30 Oct 2024)
  • Thomas Robert Grey Dudley

    IRN TRD01005

    • SMF3 Executive Director (since 12 Dec 2025)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

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